Notices

FINRA publishes notices to provide firms with timely information on a variety of issues. They are listed below in reverse chronological order.

FINRA also provides a Subject Index of Notices.

Notices published from 1983 to 1996 may be found in the FINRA Manual. To obtain a Notice published prior to 1983, please contact FINRA MediaSource at (240) 386-4200.

Date of Pub Title Description
Dec 5, 2016 Information Notice – 12/5/16
2017 and First Quarter of 2018 Report Filing Due Dates: Annual Audit; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); and Supplemental Inventory Schedule (SIS)

The due dates set forth in this Notice are solely as to the filings that are specified in the Notice and required under SEA Rule 17a-5 or FINRA Rule 4524.  These due dates take into account the federal holiday calendar as appropriate.

Dec 5, 2016 Trade Reporting Notice – 12/5/16
Reporting of Information Relating to OTC Trades in NMS Stocks
Dec 1, 2016 Regulatory Notice 16-44
SEC Approves Amendments to the Customer Code of Arbitration Procedure Regarding Panel Selection in Cases with Three Arbitrators
Effective Date: January 3, 2017
Nov 22, 2016 Information Notice – 11/22/16
FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
Nov 16, 2016 Regulatory Notice 16-43
SEC Approves Rule Amendment to Create a New Academic Corporate Bond TRACE Data Product
Effective date: February 27, 2017
Nov 1, 2016 Regulatory Notice 16-42
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2017
Payment Deadline: December 16, 2016
Oct 26, 2016 Regulatory Notice 16-41
SEC Approves Amendments to Rules Governing Communications With the Public
Effective Date: January 9, 2017
Oct 24, 2016 Regulatory Notice 16-40
SEC Approves FINRA ‘‘Pay-To-Play’’ and Related Rules
Effective Date: August 20, 2017
Oct 19, 2016 Regulatory Notice 16-39
SEC Approves Rule Change to Require Reporting of Transactions in U.S. Treasury Securities to the Trade Reporting and Compliance Engine (TRACE)
Reporting Implementation Date: July 10, 2017
Oct 19, 2016 Election Notice – 10/19/16
Notice of FINRA District Committee Elections and Ballots
Ballots Due: November 18, 2016
Oct 17, 2016 Regulatory Notice 16-38
SEC Approves Amendments to Disseminate Collateralized Mortgage Obligation (CMO) Transactions and to Reduce the Reporting Time for CMO Transactions
Effective Date: March 20, 2017
Oct 17, 2016 Regulatory Notice 16-37
SEC Approves FINRA’s Capital Acquisition Broker (CAB) Rules
Effective Dates: January 3, 2017 (CAB Member Application and Associated Person Registration Rules) and April 14, 2017 (All Other CAB Rules)
Oct 7, 2016 Trade Reporting Notice – 10/7/16
"Trade Match” and “Trade Acceptance” Clearing Submissions on FINRA’s Alternative Display Facility

FINRA is enabling the automatic lock-in functionality on the ADF as of December 5, 2016.

Sep 26, 2016 Regulatory Notice 16-36
SEC Approves Amendments to the Codes of Arbitration Procedure Regarding Award Offsets
Effective Date: October 24, 2016
Sep 22, 2016 Regulatory Notice 16-35
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Sep 7, 2016 Election Notice – 9/7/16
FINRA Small Firm Advisory Board Election
Nomination Deadline: October 7, 2016
Sep 7, 2016 Election Notice – 9/7/16
Upcoming Election to Fill FINRA District Committee Vacancies
Nomination Deadline: October 7, 2016
Aug 31, 2016 Regulatory Notice 16-34
FINRA Requests Comment on a Proposal Relating to Its Inter-Dealer Quotation System for OTC Equity Securities
Comment Period Expires: November 29, 2016
Aug 26, 2016 Trade Reporting Notice – 8/26/16
Trade Reporting Modifier for Trades that Qualify for the Intermarket Sweep Order Exception to the Trade-at Prohibition Under the Tick Size Plan
Effective Date: October 3, 2016
Aug 24, 2016 Regulatory Notice 16-33
FINRA Adopts Amendments Relating to Use of the Alternative Display Facility for Trade Reporting Purposes Only
Effective Date: September 12, 2016
Aug 19, 2016 Regulatory Notice 16-32
FINRA Announces New Web-based System for the Collection of Short Interest Positions
Effective Date: January 10, 2017
Aug 19, 2016 Election Notice – 8/19/16
Notice of Annual Meeting of FINRA Firms and Proxy
Note: On August 31, 2016, FINRA changed the annual meeting record date to Tuesday, August 30, 2016.
Aug 12, 2016 Regulatory Notice 16-31
SEC Approves Amendments to FINRA Rule 4210 (Margin Requirements) to Establish Margin Requirements for Covered Agency Transactions
Effective Date of Risk Limit Determination Requirements: December 15, 2016; Effective Date of All Other Requirements: December 15, 2017
Aug 12, 2016 Election Notice – 8/12/16
FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council
Petitions for Candidacy Due: September 26, 2016
Aug 10, 2016 Regulatory Notice 16-30
FINRA Reminds Firms of their Obligation to Report Accurately the Time of Execution for Transactions in TRACE-eligible Securities

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